Executive Director leading firm - wide Compliance Risk Assessment program for SMBC Group in financial services. Managing CRA process and collaborating with regulatory stakeholders.
SF
Hybrid Senior Compliance Advisor
Posted last month
About the role
- Senior Compliance Advisor at Fidelity Capital Markets providing compliance support across trading desks. Promoting ethical conduct and managing compliance activities across various product areas.
Responsibilities
- serve as an informed and trusted business partner, promoting a culture of ethical conduct and commitment to compliance
- providing a broad range of direct advisory support to a number of trading desks and product areas within FCM
- providing technical and interpretative guidance to FCM personnel
- build and maintain relationships with business partners, advise on policy matters, and coordinate key compliance activities relevant to FCM
Requirements
- Bachelor’s degree with minimum 3-5 years of work experience (MBA or law degree is a plus)
- Background in Compliance in a trading environment and/or relevant experience with a securities regulator
- Background in Equity sales and trading coverage is a plus
- Understanding of the capital markets business, securities markets, and equity sales and trading and associated regulations
Benefits
- comprehensive health care coverage and emotional well-being support
- market-leading retirement
- generous paid time off and parental leave
- charitable giving employee match program
- educational assistance including student loan repayment, tuition reimbursement, and learning resources to develop your career
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